DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Firms

SEC-registered investment advisers

One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.

Firm	HQ	Class	RAUM	Private clients	Advisors	RAUM / advisor	Offices	Private funds
Morgan Stanley CRD 149777	Purchase, NY	wirehouse	$1962B	90%	23,147	$84.8M	627	0
Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691	New York, NY	wirehouse	$1782B	86%	25,468	$70.0M	3,910	0
Strategic Advisers LLC CRD 104555	Boston, MA	national BD	$1370B	41%	16,954	$80.8M	237	0
E••••• J•••• CRD 250	St. Louis, MO	national BD	$1014B	98%	24,084	$42.1M	15,120	0
M•••••• A•••••• A••••••• L•• CRD 142558	Jersey City, NJ	independent RIA	$995B	90%	26	$38B	0	0
U•• F•••••••• S••••••• I••• CRD 8174	Weehawken, NJ	wirehouse	$916B	83%	9,349	$98.0M	369	0
L•• F•••••••• L•• CRD 6413	Fort Mill, SC	BD affiliated	$819B	96%	23,319	$35.1M	20,864	0
P••••••••• P•••••••• A••••••••• CRD 114310	Seattle, WA	BD affiliated	$685B	56%	7	$98B	5	12
W•••• F•••• A••••••• CRD 19616	St. Louis, MO	wirehouse	$671B	92%	14,697	$45.7M	5,038	0
A••••••••• F•••••••• S•••••••• L•• CRD 6363	Minneapolis, MN	national BD	$660B	98%	13,078	$50.5M	158	0
E•••••••• P•• CRD 111694	Berwyn, PA	independent RIA	$615B	94%	60	$10B	1	0
U•• A•••• M••••••••• ••••••••• L•• CRD 106838	New York, NY	mixed wealth	$588B	34%	32	$18B	15	139
R•••••• J•••• • A••••••••• I••• CRD 705	St. Petersburg, FL	national BD	$501B	81%	5,787	$86.6M	817	0
J••• M••••• P•••••• I••••••••• I••• CRD 110186	New York, NY	BD affiliated	$470B	66%	9	$52B	5	75
J••• M••••• S••••••••• L•• CRD 79	New York, NY	wirehouse	$430B	91%	14,152	$30.4M	3,566	0
R••••• W• B•••• • C•• I••••••••• CRD 8158	Milwaukee, WI	mixed wealth	$394B	43%	2,612	$151M	209	0
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• CRD 149018	Saint Petersburg, FL	BD affiliated	$390B	89%	6,694	$58.3M	3,629	0
F••••• I••••••••• CRD 107342	Plano, TX	independent RIA	$387B	86%	2,933	$132M	11	4
V••••••• A•••••••• I••• CRD 106715	Malvern, PA	BD affiliated	$345B	96%	2,422	$142M	2,225	0
C•••••••• A••••••••• L•• CRD 104942	Boston, MA	mixed wealth	$327B	27%	0	n/a	4	92
E•••••• F•••••••• E•••••• CRD 104510	Santa Clara, CA	independent RIA	$326B	55%	723	$451M	131	0
R•• C•••••• M••••••• L•• CRD 31194	New York, NY	national BD	$310B	90%	3,840	$80.8M	382	0
C••••••• P••••••• CRD 105348	Overland Park, KS	independent RIA	$296B	62%	1,163	$254M	150	5
N••••• A•••• M••••••••• L•• CRD 155584	Chicago, IL	mixed wealth	$280B	21%	255	$1.1B	28	28
C••••• I••••••••• A••••••• L•• CRD 105644	Schaumburg, IL	BD affiliated	$257B	96%	10,475	$24.5M	6,584	0
W•••• F•••• A••••••• CRD 11025	St. Louis, MO	wirehouse	$252B	93%	4,134	$61.0M	1,338	0
O•••• W•••••• I••• CRD 23131	Scottsdale, AZ	BD affiliated	$235B	97%	8,054	$29.2M	5,586	0
S•• I••••••••• M••••••••• C••• CRD 105146	Oaks, PA	mixed wealth	$216B	24%	127	$1.7B	3	0
C••••••••• F•••••••• N•••••• CRD 8032	Waltham, MA	national BD	$213B	95%	2,942	$72.3M	1,433	0
H•••••••• A•••••••• L•• CRD 145323	Chicago, IL	BD affiliated	$199B	90%	1,043	$190M	132	0
S•••••• N••••••• • C••••••• I••••••••• CRD 793	St Louis, MO	national BD	$198B	90%	3,340	$59.1M	517	0
E•••••• A••••••• G••••• L•• CRD 112058	Greenwood Village, CO	BD affiliated	$195B	85%	1,944	$101M	1,234	0
C••••••••• I••••••••• L•• CRD 137028	New York, NY	mixed wealth	$185B	26%	42	$4.4B	8	4
F•••• P••••••• W•••••• L•• CRD 159289	St. Louis, MO	independent RIA	$182B	86%	1,043	$174M	112	26
C•••••• CRD 319448	Miami, FL	independent RIA	$165B	95%	658	$251M	36	0
C••••• P••••••• L•• CRD 151559	New York, NY	independent RIA	$162B	71%	736	$220M	66	10
A••••• G••••• L•• CRD 111616	Sausalito, CA	independent RIA	$152B	65%	0	n/a	8	0
F••••••• T•••••••• P•••••• P•••••••• G••••• L•• CRD 142219	New York, NY	independent RIA	$140B	56%	1	$140B	0	0
C•••••••• I••••••••• R••••••• A•••••••• I••• CRD 134139	Fairfield, IA	BD affiliated	$139B	97%	3,941	$35.2M	2,339	0
R•••••••• CRD 124925	Liverpool,	independent RIA	$135B	64%	0	n/a	18	0
G•••••• S•••• • C•• L•• CRD 361	New York, NY	wirehouse	$134B	38%	0	n/a	18	0
M•••••• CRD 140195	Overland Park, KS	BD affiliated	$125B	92%	984	$127M	130	2
B•••• A••••••• CRD 110181	Baltimore, MD	mixed wealth	$124B	39%	25	$5.0B	13	3
W••••• E••••••••• A••••••• S•••••••• L•• CRD 116407	Plymouth, MN	BD affiliated	$122B	91%	1,013	$121M	184	0
M•• I•••••••• S•••••••• L•• CRD 10409	Springfield, MA	BD affiliated	$116B	97%	5,082	$22.8M	1,093	0
P•••••••• CRD 151736	Englewood, NJ	independent RIA	$110B	83%	201	$549M	18	161
J••••• M••••••••• S•••• L•• CRD 463	Philadelphia, PA	BD affiliated	$110B	89%	1,340	$82.2M	138	0
N•••••• A•••••••• L•• CRD 106800	Boston, MA	BD affiliated	$109B	90%	57	$1.9B	3	0
R••••••••• C•••••• M••••••••• CRD 291361	New York, NY	BD affiliated	$100B	82%	1,033	$96.4M	67	0
F•••••••• A••••••• L•• CRD 106720	Chicago, IL	mixed wealth	$98B	34%	69	$1.4B	17	0

The rest of the firm names are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

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9,806 advisers match.